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Defined contribution pensions: dealing with the reluctant investor
Emerald - - 2008
PurposeThe purpose of this paper is to provide an overview of key issues in the
governance of defined contribution pension schemes, with a focus on investment
matters, and to recommend best practices.Design/methodology/approachThe paper
draws on the results of an online survey of the opinions of pensions
professionals and on interviews with pensions professionals.FindingsThe paper
finds that many ...
Regulation development and MiFID impact on collective investment in Spain
Emerald - - 2008
PurposeThe objective of this paper is to review Spanish regulatory evolution in
the collective investment area, which is very recent in its principal
aspects.Design/methodology/approachThe paper assesses the way investment funds
are impacted by the Markets in Financial Instruments Directive (MiFID) and the
Spanish legislation.FindingsThe legal aspect of the Collective investment
institutions (CII)...
THE INSURANCE OMBUDSMAN BUREAU AND FINANCIAL SERVICES DISPUTES — AN OBITUARY?
Emerald - Tập 2 Số 3 - Trang 220-226 - 1994
This paper examines what the financial services industry expects from the
Insurance Ombudsman Bureau. It measures the IOB's success in meeting these
expectations against the yardsticks of public confidence and cost‐effectiveness.
In the light of Lord Ackner's recently accepted recommendation that the IOB be
replaced by a new Ombudsman scheme, this paper concludes that the IOB has
failed' the indus...
KAUFMANN AND OTHERS V CREDIT LYONNAIS BANK
Emerald - - 1995
Credit Lyonnais (the Defendant), who at all material times were authorised to
conduct investment business by virtue of their membership of the Securities
Association (its functions now subsumed by SFA) had managed the Plaintiffs'
investments on a discretionary basis. It was in respect of the conduct of that
discretionary investment management that the case arose. The Plaintiffs made
allegations, i...
THE CAPITAL ADEQUACY REGULATION OF US BROKER‐DEALERS: A COMPARATIVE ANALYSIS — PART 1
Emerald - Tập 3 Số 1 - Trang 11-27 - 1995
Regulatory update
Emerald - - 1998
On 12th March, 1998 the Financial Services Authority (FSA) issued Consultation
Paper 7 ‘Pension transfers and opt outs review phase 2’ which addresses the next
phase of the pensions review and redress programme begun in 1994. The second
phase of the review will focus on younger investors — those who are still 15
years away from retirement. The proposed approach for phase 2, on which the FSA
and PI...
US CFTC ISSUES ADVISORY APPLICABLE TO CPOS OF OFFSHORE COMMODITY POOLS
Emerald - Tập 4 Số 4 - Trang 357-363 - 1996
This paper first generally describes the requirements under US federal law to
register as a commodity pool operator (CPO), and the disclosure, reporting and
record keeping obligations which normally apply to registered CPOs. It then
discusses in detail two particular sources of relief from certain of these
disclosure, reporting and record keeping obligations — an Advisory issued by the
US Commodit...
TOWARDS A POLICY ON FINES AND DISCIPLINE: THE DISCIPLINING RECORD OF IMRO AND THE SFA
Emerald - Tập 1 Số 2 - Trang 200-204 - 1992
In many ways 1991 was a record year for the self‐regulatory regime set up under
the Financial Services Act 1986 (FSA). Not only did the Investment Compensation
Scheme pay out a record sum to investors, but the various self‐regulating
organisations (SROs) levied fines and awarded costs at unprecedented levels.
This paper looks at the disciplining record of two of the four SROs: the
Investment Manag...
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